Steven Thomas Halford
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Steven Thomas Halford, a licensed Responsible Officer with CE reference AWV229. Currently licensed at 1 firm(s): iCapital Advisory Limited. Active regulated activities: Type 4 — Advising on securities. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| iCapital Advisory Limited |
RO | Type 4 — Advising on securities | 2018-12-10 | present |
| iCapital Advisory Limited |
RO | Type 1 — Dealing in securities | 2018-12-10 | 2020-11-02 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2014-07-11 | 2017-11-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
RO | Type 4 — Advising on securities | 2014-07-11 | 2017-11-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-06-03 | 2017-11-24 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-15 | 2014-07-11 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2011-03-15 | 2013-08-31 |